Appleton is proud to announce that our firm was identified as the 5th largest fee-only RIA in the Northeast Region by Investment News for 2023. Appleton is 100% employee-owned and operated and has been serving the wealth management and financial planning needs of clients in a personalized manner since 1986.
*List of 2023 Top Regional Fee-Only RIAs published on Nov 29, 2023.
1. Industry recognitions or awards should not be construed as an endorsement or a recommendation to retain Appleton Partners by the ranking entity or any regulatory authority. This ranking was provided by InvestmentNews, an independent third party, based on their predetermined evaluation criteria. Appleton Partners did not exercise any influence or control over the criteria used or the results generated, other than providing or making available, directly or indirectly, objective numerical data that could have been used by third parties as input variables.
2. After InvestmentNews published the rankings, Appleton Partners purchased from InvestmentNews a license to repost the rankings.
3. Methodology – InvestmentNews selected the largest fee-only RIAs by region based on data reported to the Securities Exchange Commission on form ADV. To qualify, firms must have met the following criteria: (1) latest ADV filing date is either on or after August 1, 2022, (2) total AUM is at least $100M, (3) does not have employees who are registered representatives of a broker-dealer, (4) managed assets for individual clients during its most recently completed fiscal year, (5) no more than 50% of amount of regulatory assets under management is attributable to pooled investment vehicles (other than investment companies), (6) no more than 25% of amount of regulatory assets under management is attributable to pension and profit-sharing plans (but not the plan participants), (7) no more than 25% of amount of regulatory assets under management is attributable to corporations or other businesses, (8) does not receive commissions, (9) provides financial planning services, (10) is not actively engaged in business as a broker-dealer (registered or unregistered), (11) is not actively engaged in business as a registered representative of a broker-dealer, and (12) has neither a related person who is a broker-dealer/municipal securities dealer/government securities broker or dealer (registered or unregistered) not one who is an insurance company or agency.
